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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-01-03
  • TX RA
    APPROVED
    Since 2017-01-03

Branch Locations

3700 Buffalo Speedway, Houston, TX 77098 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Linden Rose Investment Llc Sugar Land TX 02/2016 10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 10/2016 Present
Bank Of America, N.A. Houston TX 03/2017 Present
Previous Registrations
Other Businesses

NingZheng INC 5606 Valley Country Ln, Sugar Land, TX 77479 Joint Owner (50/50 ownership with my wife) S Cop for Rental Properties Started 2012 Non-investment related 0 hour spent during security trading hours. less than 10 hours a month spent on this business

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-02-13
S65 Uniform Investment Adviser Law Examination 2016-05-23
  • S63 Uniform Securities Agent State Law Examination
    2017-02-13
  • S65 Uniform Investment Adviser Law Examination
    2016-05-23

View on SEC IAPD

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